Legal Ethics in the Practice of Law - cap-press.com · Legal Ethics in the Practice of Law fifth edition Richard Zitrin Lecturer in Law University of California, Hastings College

Legal Ethics in the Practice of Law

Legal Ethics in the Practice of Law

fifth edition

Richard ZitrinLecturer in Law

University of California, Hastings College of the Law

Liz Ryan ColeProfessor of Law

Vermont Law School

Timothy CaseyProfessor in Residence

California Western School of Law

Carolina Academic PressDurham, North Carolina

Copyright © 2019Carolina Academic Press, LLCAll Rights Reserved

Library of Congress Cataloging-in-Publication Data

Names: Zitrin, Richard A., 1947– author. | Cole, Liz Ryan, 1947– author. | Casey, Timothy (Law teacher), author.Title: Legal ethics in the practice of law / Richard Zitrin, Liz Ryan Cole, Timothy Casey.Description: Fifth edition. | Durham, North Carolina : Carolina Academic Press, LLC, [2018] | Includes bibliographical references and index.Identifiers: LCCN 2018038399 | ISBN 9781531009182 (alk. paper)Subjects: LCSH: Legal ethics—United States.Classification: LCC KF306.Z57 2018 | DDC 174/.30973—dc23LC record available at https://lccn.loc.gov/2018038399

ISBN 978-1-5310-0918-2e-ISBN 978-1-5310-0919-9

Carolina Academic Press, LLC700 Kent StreetDurham, North Carolina 27701Telephone (919) 489-7486Fax (919) 493-5668www . cap law . com

Printed in the United States of America

To Jesse, Gabriel, and Maya (RZ)

For Chuck and Griz — Who are always there (LRC)

To Madeleine and Liam, who inspire me To Lori, for everything (TC)

vii

Contents

Acknowl edgments xxxiAcknowl edgments (Previous Editions) xxxiiiPreface to Fifth Edition xxxvTable of Cases xxxviiTable of Rules, Opinions, and Statutes xlvii

part one • rules and reflections

Introduction 3

A. A Practicing Lawyer’s Approach to Ethics 3B. A Brief Word About the Organ ization of This Book 5C. The Rules and Standards of Our Profession 7D. Readings 11

1. The Way It Was 11Jerold S. Auerbach, Unequal Justice: Lawyers and

Social Change in Modern Amer i ca 12Notes 14

2. The Way It Is? 15William D. Henderson, Three Generations of U.S. Lawyers:

Generalists, Specialists, Proj ect Man ag ers 15Notes 18

E. Supplemental Readings 18

Chapter 1 • Initial Reflections on Ethics, Morality, and Justice in an Adversary System 21

A. Readings 211. Some Initial Reflections, and Some Thoughts from Abe Lincoln 21

Abraham Lincoln, Notes for a Law Lecture 222. The Duty of Advocacy and Defending the Guilty 22

David Mellinkoff, The Conscience of a Lawyer 23Notes 24

3. Should Legal Ethics Ignore Social Morality? 24Richard Cohen, A Rolling Ethic Gathers No Moss 25Notes 26

4. Are Lawyers Less Moral than Other People? 265. “Moral Costs” 27

viii CONTENTS

Gerald Postema, Moral Responsibility in Professional Ethics 28Notes 30

6. Some Further Thoughts on Ethics and Morality 307. “Is There a Collective or Institutional Ethic

Beyond the Ethics of the Individual?” 32Bowen H. McCoy, The Parable of the Sadhu 32Notes 37

8. Ethics and Cultural Differences 37 9. When the Individual Alone Chooses to Act 38

Mike Comeaux, Bar Exam: He Saved a Life, Got No Extra Time 38Notes 39

10. Going the Whole Nine Yards 40B. Supplemental Readings 41

part two • the lawyer- client relationshipChapter 2 • Undertaking a Case 45

Prob lem 1: Hanging Out Your Shingle 45

A. Introduction 45B. Prob lem 45C. Readings 46

1. Asking Questions About “Competence” 46 2. Sleeping Lawyers and Mea sur ing Standards of Competence 47 3. Fiduciary Duty 48 4. “Trust Me”? 49

Richard Zitrin, Don’t Just Talk About Trust — Earn It 49 5. Does the Current Law School Environment

Nurture Competence? 51 6. Legal “Internships” After Graduation, Continuing Education,

and Incubators 55 7. Law Firm “Mentoring” 56

Julie Oseid, When Big Brother Is Watching [Out for] You: Mentoring Lawyers, Choosing a Mentor, and Sharing Ten Virtues from My Mentor 57

My Mentor’s Best Advice — Ten Virtues 58 8. Competence and Negligence 59

Manuel R. Ramos, Legal Malpractice: Reforming Lawyers and Law Professors 60

Notes 62 9. Malpractice and the Wrong Client 62

Katja Kunzke, The Hazard: Failure to Screen Cases, in Why Bad Things Happen to Good Lawyers, A Symposium 63

Notes 64

CONTENTS ix

10. Referrals and Fee Sharing 64D. Supplemental Readings 64

Prob lem 2: Must We Take This Case? 67


1. Ethical Rules and Their Limited Utility 702. The Courageous Stand of Anthony Griffin 703. Representing the Unpop u lar in a Po liti cally Polarized World 724. Law Firm Associates, Credit Suisse, and the

Decision to Take a Case 735. Happy, Healthy, and Ethical? 74

Patrick J. Schiltz, On Being a Happy, Healthy, and Ethical Member of an Unhappy, Unhealthy, and Unethical Profession 75

Notes 796. Appointments by the Court 807. Mr. Mallard Goes to Washington 81

Linda Green house, The Law; Can Lawyers Be Forced to Represent the Poor? 81

Notes 83D. Supplemental Readings 84

Prob lem 3: Taking on a Client and Getting Paid 87


1. When Does the Attorney- Client Relationship Begin? 892. “Client for Purposes of Confidentiality”? 903. Accidental and Limited Clients, and Others Who

May Be Owed a Duty 924. Engagement Agreements and “Scope of Repre sen ta tion” 965. Contingency Fees 99

Brobeck, Phleger & Harrison LLP Contingency Fee Contract 99Notes 102

6. Structured Settlements and Other Contingency Fee Issues 1027. Excessive Fees? 103

Brobeck, Phleger & Harrison v. Telex Corp. 104Notes 106In re Fordham 106Notes 109

x CONTENTS

8. Must Reasonable Fees Be Proportional to a Case’s Dollar Value? 110

9. Business Relationships, “IPOs,” and Lawyer- Client “Deals” 111Jonathan Ringel, Investing in Clients: Sunny Gains,

But Others See Ethics Cloud 112Notes 114

D. Supplemental Readings 115

Chapter 3 • Communication and Confidentiality 119

Prob lem 4: Roger Earl Receives Some Evidence 119


1. Mr. Garrow, His Lawyers, and Two Buried Bodies 120Slayer’s 2 Lawyers Kept Secret of 2 More Killings 121 People v. Belge 123 People v. Belge 124Notes 125

2. The Ryder and Meredith Cases 126In re Ryder 127Notes 127 People v. Meredith 127Notes 130

3. How Much Disclosure Is Required? 1304. Are There Limits to Confidentiality? 131

Fred C. Zacharias, Rethinking Confidentiality 131Notes 134

5. Confidentiality and Privilege: Not the Same 1346. Tarasoff, the Duty to Warn, and Its Consequences 1367. Balancing the Duty to Warn: Pulling the Trigger vs.

Jumping the Gun 1378. A Terrorist Exception to Confidentiality? 138

John Caher, Lawyers’ Suit Proceeds over Taping of Conversations with Clients 139


Prob lem 5: When Does a Lawyer Talk Too Much? 143


1. Do “Loose Lips Sink Ships”? 145

CONTENTS xi

2. Is “Absolute” Confidentiality Truly Absolute? 146Abbe Smith, Telling Stories and Keeping Secrets 146Notes 149

3. The “Wrong Murderer” Cases 150 4. Lawyer- to- Lawyer Consultations, Client Confidences,

and a Dense ABA Opinion 154 5. When the Lawyer (Not the Client) Needs the Consultation 156

E- Pass Technologies, Inc. v. Moses & Singer, LLP 157 6. “MDPs,” Unbundling, and Confidentiality 158

Stacy L. Brustin, Legal Ser vices Provision Through Multidisciplinary Practice — Encouraging Holistic Advocacy While Protecting Ethical Interests 159

Notes 160 7. Does Confidentiality Extend to a Client’s Whereabouts? 161 8. Is a Client’s Identity Confidential? 162

Charles W. Wolfram, Hide and Secrets: The Bound aries of Privilege 162

Notes 164 9. Confidentiality and Prob lems at Guantanamo 165

Brief of Amici Professors of Ethics and Lawyers Practicing in the Professional Responsibility Field, Center for Constitutional Rights v. Bush 166


Prob lem 6: Technology + Confidentiality = Trou ble 173


1. Confidential Information in the Digital Age 176 2. How Safe Is Email? 177 3. The Cloud and Virtual Law Offices 181 4. The Prob lem with Websites 182

Jett Hanna, Attorney Liability for Internet Related Activity: An Early Analy sis 184

Notes 186 5. Metadata or Embedded Data 186 6. Inadvertent Disclosure 189

Aerojet- General Corp. v. Transport Indemnity Insurance 189Notes 192

7. The ABA’s Changing View 192 8. State Fund, Rico, Notice to Counsel, and Beyond 193 9. Does Inadvertent Disclosure Waive the Client’s Privilege? 196

xii CONTENTS

10. Electronic Communication and Malpractice 19711. Tweeting, Friending, Social Networking, and More 19812. “Geek- ifying” Law School 201


Chapter 4 • Loyalties and Conflicts of Interest 205

Prob lem 7: When Are Two Clients Too Many? 207


1. Conflicts of Interest and Impaired Loyalty 2092. Conflicts Among the Stars 2103. Lawyers “for the Situation” 2124. Multiple Clients and Informed Consent 214

Richard A. Zitrin, Risky Business . . . Representing Multiple Interests 214

Notes 2165. Confidentiality and Joint Repre sen ta tion 2176. Adequate Disclosure, Reasonable Consent, and

“Unwaivable” Conflicts 2187. Prospective or “Advance” Waivers 2208. Conflicts and Criminal Defense 223

Cuyler v. Sullivan 223Notes 226

9. Criminal Defense Conflicts, Waivers, and Effective Assistance of Counsel 227Notes 229


Prob lem 8: Who Is My Client? 233


1. Whom Do You Represent? 234Eva M. Rodriguez, Indicted Ex- United Way Chief Says

Lawyers Ratted on Him 235Notes 237

2. Whom Do You Tell in the Organ ization? 2383. The Garner Case 239

Garner v. Wolfinbarger 240Notes 242

4. Upjohn 243

CONTENTS xiii

Upjohn Co. v. United States 244Notes 245

5. Whither the Privilege After Upjohn? 245Payton v. New Jersey Turnpike Authority 246Notes 247

6. Parents and Subsidiaries 2477. Which Constituents of the Corporation Get

a Confidential Relationship? 250Ivonne Mena King & Nicholas A. Fromherz, Getting

the Upjohn Warning Right in Internal Investigations 250Notes 252Joel Cohen, Warning Your Client That You’re Not His Lawyer 252Notes 254

8. Side- Switching and Changing Loyalties 254Tekni- Plex v. Meyner and Landis 255Notes 257

9. “Thrust- Upon” Conflicts 257The Association of the Bar of the City of New York Committee

on Professional and Judicial Ethics, Formal Opinion 2005-05 258Notes 258

10. The United Mine Workers Litigation 26011. Lawyers for Partnerships 261


Prob lem 9: What Happens When Your Personal Interests Get in the Way? 265


1. When Lawyers Have Something to Gain 2672. Can We Expect Lawyers to Act “Better”? 268

Leonard E. Gross, Are Differences Among the Attorney Conflict of Interest Rules Consistent with Princi ples of Behavioral Economics? 268

Notes 2703. Fee Arrangements and Conflicts of Interest 271

Richard Zitrin, When Fees Are Unethical 271Notes 274

4. The Prob lem of Determining the Attorney’s Fee In dependently of the Client’s Recovery 274In re Fee 274Notes 277California State Bar Formal Opinion No. 1994-135 (1994) 277

xiv CONTENTS

5. Contingency Fees in Criminal Cases? 2796. Failure to Pay Fees and Withdrawal 2807. Don’t Slam the Door Behind You 281

Abdon M. Pallasch, Breaking Off the Attorney- Client Relationship 281

Notes 2838. Who “Owns” the Case File? 2839. Close Relationships and Sex with Clients 28410. Lawyers’ Personal and Po liti cal Agendas 286

Oasis West Realty, LLC v. Goldman 286Notes 290

11. A Word About “Positional Conflicts” 290Williams v. Delaware 291


Prob lem 10: Loyalty, Imputation, and the Business of Being a Profession 295


1. Conflicts, “Imputation,” and Motions to Disqualify Counsel 297Cinema 5, Ltd. v. Cinerama, Inc. 299Notes 299

2. The “Hot Potato” Doctrine 3003. Lawyer Mobility and Client Loyalty 301

Krutzfeldt Ranch, LLC v. Pinnacle Bank 301Notes 304

4. Former Repre sen ta tions and the “Substantial Relationship” Test 3055. So What About Loyalty? 3076. Migrating Lawyers, Imputation, and the Substantial

Relationship Test 3087. Screening: A Brief History 3118. What Does the Future Hold for the Duty of Loyalty? 3149. Corporate Subsidiaries, Client Interests, and Disqualification 318

Morrison Knudsen Corp. v. Hancock, Rothert & Bunshoft 318Notes 322

10. Shared Space and Non- Lawyer Migration 322D. Supplemental Readings 324

Prob lem 11: Class Action and “Mass Actions” 327

A. Introduction 327B. Prob lem 327

CONTENTS xv

C. Readings 3291. A Brief Class Action Introduction 3292. Embarking on a Class Action Case 3303. Who Is the Lawyer’s Client in a Class Action? 332

Karen Donovan, Huh? I’m the Lead Plaintiff? 332Notes 334

4. Are Passive Class Members Clients? 3355. Other Class Action Conflicts Issues 336

Amchem Products, Inc. v. Windsor 337Notes 341

6. Collusion, Attorneys’ Fees, and Settlements of Dubious Value 341In re Bluetooth Headset Products Liability Litigation 342Notes 343

7. Representing Large Numbers of Individual Parties 3448. The Current State of the Law 3459. Do the Current Rules Foster Toxic Settlements? 347

Johnson v. Nextel Communications, Inc. 347Notes 349

10. A Prob lem in Need of a Solution? 350D. Supplemental Readings 354

Prob lem 12: A Day in the Life of Lynch, Dahl & Wong 357


1. Coverage Counsel and Liability Counsel 359Parsons v. Continental National American Group 359Notes 360

2. Loyalty and the Insurance Defense Lawyer 360Betts v. Allstate Insurance Co. 361Notes 362

3. Is Dual Repre sen ta tion Realistic? Is the “Unique” Relationship Workable? 362

4. More Dual Repre sen ta tion Prob lems, and a Florida Solution 364Robert A. Clifford, Sunshine State Enlightens Clients’ Rights 364

5. Two Clients or Just One? Does the Ability to Sue Provide the Solution? 365Atlanta International Insurance Co. v. Bell 365Notes 366

6. Two Clients, One Client, or Perhaps One- and- a- Half? 367Remodeling Dimensions, Inc. v. Integrity Mutual Ins. Co. 368Notes 369

7. Limiting Defense Costs vs. Insureds’ Confidentiality 370

xvi CONTENTS

Sylvia Hsieh, Billing Guidelines and Fee Audits of Defense Lawyers Struck Down 370

Notes 3718. Insurance Com pany Employee and Defense Counsel:

Another Dual Role? 372American Insurance Ass’n v. Kentucky Bar Ass’n 372Notes 374


Chapter 5 • Who Controls the Case? How Should Lawyers and Clients Share Decision- Making? 377

Prob lem 13: Is the Lawyer the Client’s Savior or Mouthpiece? 377


1. Two Extremes of Lawyering 3792. Who Decides? The Allocation of Authority 3803. Client Autonomy When the Stakes Are the Highest 381

McCoy v. Louisiana 382Notes 383 People v. Deere 383Notes 386

4. When a Client’s Ability Is “Impaired” 387Richard A. Zitrin, The Kaczynski Dilemma,

A Defense Lawyer’s Ethical Duty to a Self- Destructive and Mentally Ill Client 387

Notes 389Trisha Renaud, Killer’s Demand to Die Changes to Plea for Life 389Notes 390

5. Mental Impairment and Psychotropic Medi cations 3906. Mental Impairment and Client Autonomy 391

People v. Bolden 393Notes 394

7. Representing Children 395In re: Formal Advisory Opinion No. 16-2 395Notes 396


Prob lem 14: Practicing Law in a Multi- Cultural World 399


CONTENTS xvii

1. Lawyer- Client Dialogues Across Cultural Lines 401Robert Dinerstein, Stephen Ellmann, Isabelle Gunning &

Ann Shalleck, Connection, Capacity and Morality in Lawyer- Client Relationships: Dialogues and Commentary 402

Notes 4072. Decision- Making in the “Global Village” 4073. Client- Centered Lawyering and Abuse Cases 408

V. Pualani Enos & Lois H. Kanter, Who’s Listening? Introducing Students to Client- Centered, Client- Empowering, and Multidisciplinary Problem- Solving in a Clinical Setting 409

Notes 4104. White Lawyers and Culturally Diverse Clients 411

Russell G. Pearce, White Lawyering: Rethinking Race, Lawyer Identity, and Rule of Law 411

Notes 4135. Multi- Cultural Lawyering 414

Carwina Weng, Multicultural Lawyering: Teaching Psy chol ogy to Develop Cultural Self- Awareness 414

Notes 4176. Global Law and Cultural Imperialism 417

Laurel S. Terry, U.S. Legal Ethics: The Coming of Age of Global and Comparative Perspectives 417

Notes 4197. The Impact of U.S. Foreign Policy 419

Clayton Collins, Now, Being a Yankee Isn’t Dandy 419Notes 421


part three • balancing the duty of advocacy with the duty to the legal system

Chapter 6 • What Price Truth? What Price Justice? What Price Advocacy? 427

Prob lem 15: How Far Should Richie Go to Get His Client Off? 427


1. The “Adversary Theorem” Revisited 4292. Is Advocacy a Search for Truth or Justice? 430

Simon H. Rifkind, The Lawyer’s Role and Responsibility in Modern Society 430

Notes 4323. Defending “Terrorists” 432

xviii CONTENTS

Notes 4344. Representing the Guilty Client 4345. True Evidence, False Defense 435

Michigan Opinion CI-1164 435Notes 436

6. Criminal Defense Justifications 437Barbara Babcock, Defending the Guilty 437Notes 438

7. Taking Advantage on Cross- Examination 438E.R. Shipp, Fear and Confusion in Court Plague

El derly Crime Victims 439Notes 441

8. How Far Should One Go with a Guilty Client? 441Harry I. Subin, The Criminal Defense Lawyer’s “Dif fer ent Mission”:

Reflections on the “Right” to Pres ent a False Case 442Notes 444John B. Mitchell, Reasonable Doubts Are Where You Find

Them: A Response to Professor Subin’s Position on the Criminal Lawyer’s “Dif fer ent Mission” 445

Harry I. Subin, Is This Lie Necessary? Further Reflections on the Right to Pres ent a False Defense 446

9. The Supreme Court Speaks 447United States v. Wade 447

10. Cross- Examining the Truthful Witness 447Monroe Freedman & Abbe Smith, Understanding

Lawyers’ Ethics 448Notes 450


Prob lem 16: When the Client Insists on Lying 453


1. A Brief Regulatory History 4542. Is Confession Evidence Overvalued? 4553. When Do You Know You “Know”? 4574. The Perjury “Trilemma” 458

Monroe H. Freedman & Abbe Smith, Understanding Lawyers’ Ethics 459

Notes 4615. Nix v. Whiteside 461

Nix v. Whiteside 461Notes 462

CONTENTS xix

6. The Aftermath of Whiteside 4637. Freedman’s Client’s Perjury Described and His Solution Offered 464

Monroe H. Freedman & Abbe Smith, Understanding Lawyers’ Ethics 465

Notes 4678. Is There a Solution to the “Trilemma”? Is There a Majority Rule? 4689. Perjury in Civil Cases 47010. Rectification, and Jones v. Clinton 47211. Witness Preparation and Its Limits: “The Most Difficult

Question” 474Monroe H. Freedman, Lawyers’ Ethics in an

Adversary System 475Notes 477


Prob lem 17: Pushing the Envelope and Coming Clean to the Court 479


1. Rule 11 481Peter A. Joy, Happy (?) Birthday Rule 11 482

2. Adequate Investigation and Relying on the Client 484Hadges v. Yonkers Racing Corp. 485Notes 489

3. Continuing Investigation, Continuing Duty? 4894. Tort Claims for Frivolous Lawsuits 4905. Other Rules, Statutes, and Methods of Sanctions 491

Editorial: Yes to Nosy Questions: Coercive Lawsuits Shouldn’t Keep People from Exercising their Constitutional Rights 492

Notes 4936. Disclosure of Adverse Authority 4947. Failure to Disclose and Sanctions 495

In re Hendrix 4958. Arguing for “Extension of Existing Law” 4979. Disclosing Facts 498


Chapter 7 • Tactics, Free Speech, and Playing by the Rules 501

Prob lem 18: Is Discovery Survival of the Fittest? 501

A. Introduction 501B. Prob lem 501

xx CONTENTS

C. Readings 5021. Discovery “Hardball”: Bogle & Gates and the

“Dear Doctor” Letters 5022. Sources of Discovery Abuse 505

Wayne D. Brazil, Civil Discovery: How Bad Are the Prob lems? 505Notes 508

3. Is Access to Discovery an Ethical Issue? 508James E. Rooks, Jr., Will E- Discovery Get Squeezed? 508Notes 510

4. Are Depositions Incubators for Abuse? 510Avista Management, Inc., d/b/a Avista Plex, Inc. v. Wausau

Underwriters Insurance Com pany 5135. One Solution: “Issue” Sanctions and Dismissal 514

Bill Rankin, Did GM and Its Lawyers Suborn Perjury in Georgia Case? 515

Notes 516State ex rel. Abner v. Elliott, Judge 517Notes 518

6. An Extreme Example of Discovery Abuse 519Milo Geyelin & Ann Davis, Tobacco’s Foes Decide to Target

the Role of Industry’s Lawyers 519Notes 520

7. An Electronic Discovery Primer 521Mark E. Borzych, Avoiding Electronic Discovery Disputes:

Practice Questions Answered 521Notes 523

8. Two Events That Shaped Electronic Discovery 5239. E- Discovery and Failure to Disclose 52510. Discovery, Making Money, and a Kinder Approach 526

Richard Zitrin, Five Who Got It Right 527Notes 528


Prob lem 19: The Fine Line Between Posturing and Lying in Negotiation 531


1. Squaring Negotiation with Candor 5332. Candor, the “Prisoner’s Dilemma,” and Judge Rubin’s Views 534

Alvin B. Rubin, A Causerie on Lawyers’ Ethics in Negotiation 535Notes 537

CONTENTS xxi

3. A Roundtable on Negotiation Ethics 537Larry Lempert, In Settlement Talks, Does Telling the Truth

Have Its Limits? 538Notes 542

4. The Corporate Lawyer’s Perspective 543Stuart K. Fleischmann, Contract Negotiating: How Much

Truthfulness Is Required 543Barry R. Temkin, Misrepre sen ta tion by Omission in Settlement

Negotiations: Should There Be a Silent Safe Harbor? 545Notes 548

5. The Gulf Between Theory and Practice 5496. Civil Liability and Malpractice Concerns 549

Facebook, Inc. v. Pacific Northwest Software, Inc. 550Notes 551

7. The Duty of the Prosecutor 552 People v. Jones 552Notes 554


Prob lem 20: “Honest Abe’s” Trial Tactics 557


1. Courtroom Tactics and “Parlor Tricks” 5592. Contempt and Client Identification 559

United States v. Thoreen 560Notes 562

3. Racial Issues in Court 564A. Leon Higginbotham, Jr., Aderson Bellegarde Francois

& Linda Y. Yueh, The O.J. Simpson Trial: Who Was Improperly “Playing the Race Card”? 564

Notes 5674. Courtroom Attire 568

Anita Allen, Veiled Women in the American Courtroom: Is the Niqab a Barrier to Justice? 569

Notes 5715. Ethics, Trial Tactics, and Modern Techniques of Jury Se lection 5716. Social Media and Jury Se lection 5727. Jury Se lection and Race 573

Equal Justice Initiative, Illegal Racial Discrimination in Jury Se lection: A Continuing Legacy 573


xxii CONTENTS

Prob lem 21: Civility, Contempt of Court, Free Speech, and Publicity 581


1. Is There an Ethical Duty of Civility and Professionalism? 584Texas Rules of Court, Texas Lawyer’s Creed — A Mandate

for Professionalism 585Notes 586

2. Can Ethics Rules Be Used to Enforce Courtesy or Civility? 586United States v. Wunsch 586Notes 588

3. Are Courts Helpless in the Face of Uncivil and Discourteous Conduct? 589

4. Should Civility Be Regulated? 592Monroe Freedman, Masking the Truth to Resolve

Competing Duties 592Notes 594

5. Speech as Contempt 5956. Publicity and the Gentile Case 597

Gentile v. State Bar of Nevada 599Notes 602

7. The Revised ABA Rule and Other Alternatives 6028. Criticizing the Judge 604

Standing Committee on Discipline, United States District Court for the Central District of California v. Yagman 605


Prob lem 22: Advocates’ and Mediators’ Ethical Dilemmas in Mediation 611


1. What Is Mediation? 6142. Ethical Rules for Mediators 6163. Confidentiality and “Fairness” Under the Uniform Act

and California Case Law 619National Conference of Commissioners on Uniform State Laws,

Meditation Act Summary 619Notes 620Cassel v. Superior Court 621

CONTENTS xxiii

Notes 6234. Ethical Issues Facing Practicing Lawyers in Mediation 6235. Lawyers as Mediators 625

John G. Bickerman, Leaving the Firm, Conflicts, Firm Economics and Issues of Culture Can Stifle ADR Practice 625

Notes 6266. Dealing with Mediator Conflicts of Interest 6277. Power: An Ethical Issue? 6288. Secret Settlements: Justice for Whom? 6299. What Is a “Secret Settlement”? 63110. Is Secrecy an Ethical Issue? 632

Alan F. Blakley, To Squeal or Not to Squeal: Ethical Obligations of Officers of the Court in Possession of Information of Public Interest 633

Notes 63511. Is There a Legislative Solution? 637

California Senate Bill SB 820 637


Chapter 8 • The Special Prob lems of the Government Lawyer 641

Prob lem 23: Must A Prosecutor Play by Dif fer ent Rules? 641


1. The Special Role of the Prosecutor 643American Bar Association, Criminal Justice Standards

for the Prosecution Function 644Notes 649

2. Must Prosecutors Follow Higher Standards in Disclosing Information? 650

3. Discretion, Selective Prosecution, and Power 6524. Power and Abuse of Power 6575. The Cloak of Anonymity 6626. Under- Prosecuting the Prosecutors 6637. Prosecutorial Accountability 665

Connick, District Attorney v. Thompson 667Notes 669

8. And If a Lawyer Does Follow the Rules . . . 670Garcetti v. Ceballos 670Notes 673


xxiv CONTENTS

Prob lem 24: What’s a City Attorney to Do? 677


1. Conflicting Advice in Los Angeles 679Rich Connell, City Atty. Role Raises Conflict of Interest Issue 679Notes 681

2. Who Is the Client? 6813. How Limited Is the Governmental Attorney- Client Privilege? 683

In re Lindsey 683Notes 687

4. Limits on Confidentiality? Cindy Ossias Blows the Whistle 688California State Bar Trial Counsel, Letter to

Counsel for Cindy Ossias 690Notes 691

5. Representing Dif fer ent Governmental Agencies 692Civil Ser vice Comm’n of San Diego County v. Superior Court 692Notes 693

6. Representing the Government and Its Individual Employees 693Barkley v. City of Detroit 694Notes 696

7. Screening Revisited 6978. The Part- Time Government Lawyer 6989. The Government Lawyer as Employee 69910. Who Is the Client, Revisited 699

L.J. Pendlebury, Bar, Agencies Haggle Over Defining “Client”: For Whom Does the Government Lawyer Toil? 700


Chapter 9 • The Lawyer Acting as Adviser 705

Prob lem 25: Advising the Corporate Client That’s Made a Mistake 705


1. Should Counsel Ever “Blow the Whistle”? 707David Luban, Lawyers And Justice: An Ethical Study 707Notes 710

2. Roger Tuttle’s Mea Culpa 7113. Sea Change, Part One — Sarbanes- Oxley and the SEC 712

Michelle Cottle, Why No One Blames the Lawyers 712

CONTENTS xxv

Notes 7154. Sea Change, Part Two — The ABA Model Rules 716

Patricia Manson, Lawyer- Ethics Code Undergoes Sea Change 716Notes 717

5. Can Corporate Criminal Guidelines Foster Ethical Conduct? 717Joseph J. Fleischman, William J. Heller & Mitchell A. Schley,

The Orga nizational Sentencing Guidelines and the Employment At- Will Rule as Applied to In- House Counsel 718

Notes 7196. Roger Balla’s Stand 719

Balla v. Gambro, Inc. 720Notes 722

7. Whither Protection for In- House Whistle blowers? 722Crews v. Buckman Laboratories International, Inc. 724Notes 726

8. Whither (Wither?) the Corporate Attorney- Client Privilege? Part One — Prosecutorial Pressure 727David B. Fein & Robert S. Huie, Attacks on Client Privilege

Increasing: Government Insistence on Waiver Jeopardizes Values of Corporate Privilege 727

Notes 7299. Whither (Wither?) the Corporate Attorney- Client Privilege?

Part Two — Corporate Self- Destructive Be hav ior 730D. Supplemental Readings 732

Prob lem 26: What’s Most Impor tant — What You Say, How You Say It . . . or Whether You Should Say It at All? 735


1. How Should Lawyers Advise Their Clients? 737Joel S. Newman, The Audit Lottery: Don’t Ask, Don’t Tell? 737Notes 741

2. Advising on Torture 7413. Knowledge and the Story of O.P.M.’s Lawyers 7434. Knowledge and the Duty to Investigate 7465. Enron: Legal Advice as Cover- Up, or Just Client Protection? 747

Robert W. Gordon, A New Role for Lawyers? The Corporate Counselor After Enron 748

Notes 7526. Lincoln Savings, Its Lawyers, Their Lawyer, and

“Litigation Counsel” 7527. Kaye Scholer, “Factual Assertions,” and Three Bar Opinions 755

xxvi CONTENTS

8. Putting the Advice into Action 755D. Supplemental Readings 757

part four • the pressures, economics, and diversity of modern practice

Chapter 10 • The Lawyer as Part of the Law Firm Structure 761

Prob lem 27: The Se nior Associate’s Serious Dilemma 761


1. Peter Kelly Takes a Stand 763James M. Altman, Associate Whistle Blowing 764Notes 766

2. Advice from Professor Hazard 767Geoffrey C. Hazard, Ethics 767Notes 769

3. To Report or Not to Report? 7694. The Torture Memorandum — May a Lawyer Give Less

Than an “Honest” Opinion? — A Case Study 771Kathleen Clark, Ethical Issues Raised by the OLC Torture

Memorandum 771Notes 776

5. Duties to Third Parties? 7776. Disclosure to Third Parties? 7807. Discipline for Law Firms? 780

Ted Schneyer, Professional Discipline for Law Firms? 781Notes 785

8. Modern Law Firm Culture and “Greedy Associates”. 786Richard Zitrin & Carol M. Langford, The Moral Compass:

Associated Stress 787D. Supplemental Readings 789

Prob lem 28: Billing Practices at Prager & Dahms 791


1. The Development of “Billable Hours” 7932. Clients Start Fighting Back About Overbilling 7943. Overbilling at the Top, Part I 795

Michael D. Goldhaber, Overbilling Is a Big- Firm Prob lem Too 796Notes 798

CONTENTS xxvii

4. Overbilling at the Top, Part II 7985. The ABA Speaks Out on Billing Practices 799

American Bar Association Formal Opinion 93-379, Billing for Professional Fees, Disbursements, and Other Expenses 800

Notes 8026. Happy, Healthy, and Ethical — and Still Billing? 803

Patrick J. Schiltz, On Being a Happy, Healthy, and Ethical Member of an Unhappy, Unhealthy, and Unethical Profession 803

Notes 8097. “BigLaw” Rides the Rollercoaster 809

Neil J. Dilloff, The Changing Cultures and Economics of Large Law Firm Practice and Their Impact on Legal Education 811

Notes 8128. Modern Alternatives to Hourly Billing 813


Prob lem 29: Is There a Glass Ceiling as Lawyers Climb the Law Firm Ladder? 817


1. Women in the Legal Workplace 818Mona D. Miller, Breaking Through the Glass Ceiling 820Notes 822

2. Women in the Courtroom 823Shira Scheindlin, Female Lawyers Can Talk, Too 823Notes 824

3. The “Mommy Track” and Caretakers 824Stuart Hanlon, Getting It 825

4. Women as “Rainmakers,” and “Networking” 8275. Minorities and Race: The San Francisco Experience 8276. Are Minority Attorneys Losing Ground? 829

Vera Djordjevich, Are African- American Attorneys Losing Ground? 830Notes 831Leonard M. Baynes, Falling Through the Cracks: Race and

Corporate Law Firms 831Notes 834

7. Minority Partners and Systemic Issues 834David B. Wilkins, Partners Without Power? A Preliminary

Look at Black Partners in Corporate Law Firms 834Notes 838

8. Facing Dual Discrimination 839Jill Schachner Chanen, Early Exits 839

xxviii CONTENTS

Notes 8429. Is Bias an Ethical Issue? 84210. Bias in the Courts 84311. Making Diversity Work in the Law Firm 844

Jacob H. Herring, Diversity in the Workplace 844Notes 847


Chapter 11 • Mental Health, Substance Abuse, and the Realities of Modern Practice 851

Prob lem 30: A Lawyer in Trou ble and His Friends on the Spot 851


1. Defining the Prob lem of Substance Use 8532. Recent Statistics on Lawyers and Depression 854

Joan E. Mounteer, Depression Among Lawyers 854Notes 856

3. A Case History of a Lawyer in Trou ble 856Barbara Mahan, Disbarred 856Notes 859

4. Lawyers’ Prob lems? Let Us Count the Ways 8605. How Forgiving Is Our Disciplinary System about Alcohol

and Other Illnesses? 8616. Defining the Ethical Requirements, and Two ABA Opinions

on Impairment 8637. Intervention 865

Tripp Baltz, Presenting the Hard Facts of a Liquid Habit to Impaired Lawyers 865

Notes 8698. Stress, Dissatisfaction, and Wellness 869

Lawrence S. Krieger, The Inseparability of Professionalism and Personal Satisfaction: Perspectives on Values, Integrity and Happiness 870

Notes 8729. Stress, Drugs, and the Rock ’n’ Roll of Law Practice 87210. Further Thoughts on the Best Cure: Prevention 873

Sara E. Dysart & Ann D. Foster, Practicing Law and Wellness: Modern Strategies for the Lawyer Dealing with Anxiety, Addiction and Depression 873


CONTENTS xxix

Chapter 12 • The Economics of Lawyering 879

Prob lem 31: Counselors in Action Go for the Gold 879


1. Bates v. State Bar 881Bates v. State Bar of Arizona 881Notes 885

2. The Progeny of Bates: Advertising Cases in the Supreme Court 885

3. How Much Has Changed? It Mostly Comes Down to “Misleading” 887Hunter v. Virginia State Bar ex rel. Third Dist. Comm. 890Notes 895

4. So What Is “Misleading” in Today’s World? 8955. Bates’s Supreme Court Progeny: Solicitation 8976. Solicitation After Shapero and Went For It 9007. Insurance Companies, Insurance Lawyers, and Advertising 902


Prob lem 32: The Economics of Legal Ser vices for Indigent Clients 905


1. Life as a Legal Aid Lawyer 906Richard Zitrin, Five Who Got It Right 907Notes 910

2. Making Choices about Which Cases to Take 910Ralph Jimenez, Veto Will Affect Legal Assistance for State’s 910Notes 911

3. The Justice Gap 9124. IOLTA, and How It’s Not Nearly Enough 913

Brown v. Legal Foundation of Washington 913Notes 914

5. Sunshine on a Bleak Landscape? 9146. The (Unfulfilled?) Promise of Gideon 9157. Walking the Walk: Accomplishing Pro Bono Work 916

Victor E. Fleischer, Needlework and Soap Operas on Death Row 918Notes 920

8. A Call for Mandatory Pro Bono 9219. Should — and Can — Mandatory Pro Bono Be Legislated? 922

10. Pro Bono from All Lawyers, Starting at the Top 924Steven Lubet, Professionalism Revisited 924Notes 926

11. How About Our Law Schools? 926D. Supplemental Readings 927

part five • other attorney conduct issues

Chapter 13 • Admissions, Discipline, and Some Other Rules of Lawyering 933

A. Admission to the Bar 9341. Educational Requirements and the Bar Exam 9362. What Should Race and Gender Have to Do with Law School

Admission? 939Douglas Laycock, The Broader Case for Affirmative Action,

Desegregation, Academic Excellence, and Future Leadership 940Notes 941

3. Comparing Educational Pro cesses: The Making of a Lawyer in Amer i ca, Eu rope, and Asia 941

4. In Search of a Uniform Definition of Good Moral Character 9435. Other “Character” Grounds for Denying Admission 9466. Some Prob lems of Multiple Jurisdictions 950

B. Discipline of Lawyers 9531. An Overview of Lawyer Discipline 9532. Law Firm Discipline 9573. Should Lawyers Discipline Lawyers? 9574. Civil and Other Remedies 958

C. The Unauthorized Practice of Law and Multidisciplinary Practice 9591. A Brief Overview of Unauthorized Practice 9592. What Is Meant by “The Practice of Law”? 9603. Defining What Non- Lawyers May Do 9614. Multidisciplinary Practice (MDP): Non- Lawyer Practice

on a Large Scale 9635. The Swing of the Pendulum 964


Index 969

xxx CONTENTS

xxxi

Acknowl edgments

We gratefully acknowledge the assistance we have received over the 23 years since publication of this volume, and honor those who helped by reprinting below the cumulative acknowledgement from the first four editions. In this fifth edition we want to remember Monroe Freedman, a mentor and dear friend, and an intellectual giant who challenged conventional thinking by integrating a deep sense of morality into our professional obligations. We miss him greatly as we continue on the trail he blazed.

We owe considerable thanks to the team at our new publisher, Carolina Aca-demic Press, which stepped in after purchasing the LexisNexis law- school- book line just as we began to prepare this new edition. Keith Sipe, Linda Lacy, Scott Sipe, Keith Moore, Ryland Bowman, and Tasha Gervais have all managed to follow the bouncing balls of publishing transition with kindness and responsiveness. Dana Pepper and Erin Matthews, among others, have quickly worked to understand this volume and explain it to our academic colleagues.

We owe a debt of gratitude to the indefatigable Ezio Borchini, who once again provided us with an extensive list of typographical and other technical errors that make this fifth edition cleaner and more accurate. We could not have readied this edition for publication without Xiomara Dodson at Cal Western, who was our go-to person for gaining permissions for the third- party works we’ve excerpted.

More specifically, the existing authors thank our wonderful new colleague, Tim Casey, who brought fresh eyes, thoughtful insights, and a great work ethic to this effort. We are fortunate that Tim shares our long- held views for teaching this sub-ject from the lens of practical experience, making it a meaningful and enjoyable part of the law school curriculum.

Others at Cal Western also stepped up: students Cheryl Kozdrey and Liza Ahmed helped with key research, and Laurie Farid provided administrative assistance. Cal Western faculty — most notably Bob Seibel, Janet Weinstein, Linda Morton, Tom Barton, and Bobbie Thyfault — provided support, while the incredible prac ti tion ers in the STEPPS Program maintained the connection to the real world that defines our approach to teaching ethics. Philip Genty and Jane Spinak from Columbia Law added their inspiration and feedback, as did Vermont Law School faculty, most notably Susan Apel and Jeff White.

Above all we want to thank 40 years of students from the schools where we’ve taught, and schools where adopters of this coursebook teach. We appreciate and

xxxii ACKNOWL EDGMENTS

learn from them. They inspire us to keep making this book stronger, our classes more engaging, and our gradu ates better prepared for practice and committed to improving the profession.

Richard Zitrin Liz Ryan Cole Timothy Casey

October 2018

xxxiii

Acknowl edgments (Previous Editions)

The creation of this fourth edition was made more challenging and in ter est ing by all the sea changes in the world of legal ethics that have occurred since 2007. We could not have kept up with these changes without the help of many people, and we are indebted to each. Over the years we have had the help of many colleagues — academics and prac ti tion ers alike. Ethics professors Steve Berenson, Kathleen Clark, Steve Derian, Mary Jo Eyster, Monroe Freedman, Peter Joy, Drew Kershen, Rory Little, Judith Maute, Morris Ratner, Cindy Slane, and especially Bob Kuehn, now at Washington (St. Louis), have provided valuable comments over the years.

Prac ti tion ers who serve as adjunct professors have been no less helpful. Jim Schaller, who has taught for years at George Washington, and his colleague Ezio Borchini, provided us with a detailed list of errors from the third edition, many typographical and some substantive, which will make this new edition much cleaner. Richard Heafy of Oakland has provided us a stream of cases over the years, Rob Waring of San Francisco and Hon. Gary Miller of Indianapolis have provided video excerpts related to each of our prob lems, and Brian Faughnan gave us valuable infor-mation on state- by- state solutions to the perjury “trilemma.” William M. Balin pro-vided across- the- board input in many areas, while Victoria Zitrin, a non- practicing J.D., used her skill as a book editor to help her husband out of tight linguistic squeezes.

Law students have worked tirelessly to assist us on this edition. Vermont Law School students Ruth White and Tracy Ullom wrote a valuable paper that helped us significantly in revising our technology prob lem. Pauline Dachman, Phillip Foy, Ryan Gadapee, Jeffrey Guevin, Justin Kjolseth, Bob Liu, Eric Nickel, Ida Rose Nininger, Dan O’Connor, James Ostendorf, Christa Shute, Andrew Stone, Kami Todd, Jocelyn Walters- Hird, and Nicole Zub all assisted Prof. Cole at Vermont to research new material. Aishlin Hicks, R. Stone Lee, MD, and Amber Lu provided similar invaluable assistance to Prof. Zitrin at UC Hastings. Special heartfelt grati-tude to recent Hastings grad Eugenée Heeter, who was responsible for coordinating all the permissions for this edition, which she did with grace, patience, and excep-tional organ ization.

At the same time, we are reminded of those whose help was invaluable during our preparation of the first three editions. Claude Piller, researcher extraordinaire, gave both inspiration and perspiration to both the first and second editions,

xxxiv ACKNOWL EDGMENTS (PREVIOUS EDITIONS)

combing the archives and the Internet for the most in ter est ing potential new read-ings. Jane Nydorf was our rock for these earlier editions, unsparingly giving us her tireless and ever- cheerful help. Bob D’Arcy read every word of the first two editions and provided consistent editorial wisdom. For the second edition, Waqar Hasib made certain that every reading was accounted for and properly cited.

We again thank others who helped us along the way, particularly the first time around: Elona Baum, the law firm of Carroll, Burdick & McDonough, Mark Hsen Wu Chu, Peter Cling, Joan Cortez, Nancy Castor, Ralph Francis, Diane Gamlowski, Ted Gest, Manoj Gorantla Govindaiah, Michael Hartmann, Terry Inghroff, Kim-bery B. Janas, Steve Kassirer, Janet Loduca, Joe Levin, Peter McGaw, Margaret Moses, Laurie Robertson, Tracy Swann, Kenneth Wang, Maureen Kay Wurfel, Arthur Zitrin, Charlotte Zitrin, and Elizabeth Zitrin.

We would like to single out for thanks the following: our friends at LexisNexis, particularly our wonderful editors, Ally VonHockman for the second edition, and Pali Parekh for the last two; Lee Freudberg, who as director of law school publica-tions for the Michie Com pany years ago was among the first to have the vision to see the value of a book such as this; former University of San Francisco dean Jay Folberg, who may have been the first to see the value of this volume; Shannon Lovely, who as Prof. Cole’s administrative assistant guided us through hardcopy and on- line exchanges without which we could not have drafted the text of this book; and above all our friend and colleague, law professor Susan McGuigan, who assisted us funda-mentally in researching much of this book and continues to work with us on future proj ects. Fi nally, we are forever grateful to the hundreds of students at the Univer-sity of California’s Hastings campus, the University of San Francisco, and Vermont Law School, who over the last 35 years have tested both our materials and our teach-ing methods, and who consistently challenge us and help to make us wiser teachers and better lawyers.

Richard Zitrin Carol M. Langford Liz Ryan Cole

October 2013

xxxv

Preface to Fifth Edition

For students and those teachers who have not previously read this book, the first part of our Introduction, which follows, serves to explain our practice- oriented, “real world,” problem- driven approach to the discipline of legal ethics and the book’s orga nizational structure. We suggest you begin there, before reading this Preface.

This Preface provides those with some working familiarity with our first four editions a brief overview of what has changed — both in the world of legal ethics and in this volume.

Changes in the legal ethics world continue to come quickly. In comparison with other core law- school courses, ethics is still a relatively young discipline. Forty years ago, there was very little focus on legal ethics as part of the law school curriculum, and very few law professors considered it their primary focus. Today, it is a fully- formed discipline, having grown not only in stature as a stand- alone course, but also in relation to the dramatic expansion of clinical and other experiential courses that integrate legal ethics and skills training.

The pace of rules changes has slowed between this edition and the last. Before the fourth edition, we saw the adoption of the ALI’s Restatement (Third) of the Law Governing Lawyers, wholesale revisions of the ABA’s Model Rules of Professional Conduct in 2002 and 2003, followed by substantial revisions in 2012 and 2013 on the interface of technology and ethics. Today, the biggest changes are ever- evolving conflict of interest rules, allowing broader “advance waivers,” better defining screening and imputation, and seeing every state adopt some version of the ABA rules. Technological ethics advance so fast that our technology prob lem (Prob lem 6) needs wholesale updating each edition.

Perhaps the two biggest changes since the last edition have been the final approval — over a de cade in the making — of ABA- style rules in California, and the explosion of experiential programs that integrate legal ethics. We are modifying our teacher’s manual substantially to track the California changes. While the new Cali-fornia rules adopt the ABA numbering system, there are still many differences between the ABA rules and those of this iconoclastic state. As far as new and more widespread experiential programs, we have always tried to keep clinical courses in mind. Now, we have consciously tried to “up our game” to ensure that this book provides what students and teachers in experiential programs most need.

This Fifth Edition keeps intact the core of what has always worked well in previ-ous editions. Throughout, we have maintained our predisposition for academically

xxxvi PREFACE TO FIFTH EDITION

rigorous materials that are both accessible and readable. We have included more narratives of our own authorship, which not only gives us the opportunity to pres-ent issues exactly as we wish but also makes the text tighter.

Without exception, every Prob lem (for we continue to or ga nize the book by Prob lems) is changed from the last edition. Many have mostly nips, tucks, and updated citations, as our discipline continues to mature. Some, though, have under-gone substantial revisions, such as the prob lems on technology, prosecutorial obli-gations, and conflicts of interest. We’ve replaced a fair number of older articles with newer ones or narrative text, but we’ve kept some older pieces that continue to have resonance and currency. And, as always, we’ve maintained the last edition’s struc-ture and “full coverage” approach. We don’t expect courses to use this material cover- to- cover. We do expect that if it’s impor tant to the discipline of legal ethics, you will find it here.

We hope you, both professors and students, find the changes useful and enjoy-able. Anyone with questions or comments can reach us at zitrinr@uchastings . edu, lcole@vermontlaw . edu, and tcasey@cwsl . edu. As always, we encourage you to con-tact us.

Richard Zitrin Liz Ryan Cole Timothy Casey

October 2018

xxxvii

Table of Cases

AA. v. B. v. Hill Wallack, 217A.T., Application of, 948ABAMAR Housing and Development,

Inc. v. Lisa Daly Lady Decor, Inc., 196

Abner, State ex rel., v. Elliott, Judge, 517Academy of Calif. Optometrists v.

Superior Court, 284Ackerman v. Schwartz, 778Adlman, United States v., 246Aerojet-General Corp. v. Transport

Indemnity Insurance, 189Alameh, United States v., 653Alexander v. Cahill, 896Alyeska Pipeline Co. v. Wilderness

Society, 493Amchem Products, Inc. v. Windsor,

336, 337American Airlines, Inc., In re, 308American Employers Ins. Co. v. Goble

Aircraft Specialties, Inc., 362American Home Products, In re, 323American Insurance Ass’n v. Kentucky

Bar Ass’n, 372American Mut. Liab. Ins. Co. v. Supe-

rior Ct., 362American Tobacco Company v. Florida,

731Amoco Oil Co. v. United States, 494Anastaplo, In re, 944Anders v. California, 500Andrades, People v., 469Anonymous, In re, 949Application of (See Name of Applicant)

Aramony, United States v., 237Arcaro v. Silva, 491Arthur Andersen LLP v. Unites States,

657Aspen Services, Inc. v. IT Corporation,

589Atkinson v. Haug, 90Atlanta International Insurance Co. v.

Bell, 365Attorney Discipline Matter, In re, 470Attorney Grievance Comm’n v. Gansler,

603

BBachenberg, People v., 777Bagley, United States v., 644, 650Baird v. Koerner, 163Baird v. State of Arizona, 944Baker v. Whitaker, 103Baldasarre v. Butler, 230Balla v. Gambro, Inc., 720Banks v. Dretke, 674Baranowski v. State Bar, 116Barkley v. City of Detroit, 694Bartle v. Berry, 331Bates v. State Bar of Arizona, 881, 893Beal Bank, SSB v. Arter & Hadden, LLP,

325Berg Electronics, Inc. v. Molex, 196Berger v. United States, 643, 644Betts v. Allstate Insurance Co., 361Biller v. Toyota Motor Sales USA, 727Birbrower, Montalbano, Condon &

Frank v. Superior Court, 951Blackman, United States v., 165

xxxviii TABLE OF CASES

Blinder, Robinson & Co., In re, 306Bluetooth Headset Products Liability

Litigation, In re, 342Bohatch v. Butler & Binion, 770Bolden, People v., 393Bowers v. Hardwick, 950Boyce, In re, 93Brady v. Maryland, 499, 552,

644, 650, 667, 672Bredice v. Doctors Hospital, Inc., 245Breezevale Ltd. v. Dickinson, 470, 471Bridges v. California, 609Brooklyn Navy Yard Cogeneration

Partners LP v. Superior Court, 318Brouwer v. Raffensperger, Hughes &

Co., 758Brown v. Kelton, 374Brown v. Legal Foundation of Washing-

ton, 913Brunner v. New York State Higher

Education Services Corp., 949Burkhart v. Semitool, Inc., 724Bush Ranch, Inc. v. E.I. Du Pont de

Nemours & Co., 505

CCajamarca v. Regal Entertainment

Group, 198Cardona v. General Motors Corp., 308Carpenter v. United States, 180Carrow, In re, 610Casby, State v., 165Casco Northern Bank v. JBI Associates,

Ltd., 308Cassel v. Superior Court, 621Castillo v. Estelle, 231Central Hudson Gas & Elec. Corp. v.

Public Serv. Comm’n, 893Chae Chan Ping v. United States, 943Chambers v. NASCO, Inc. 493Chambers, State v., 469Chicago Council of Lawyers v. Bauer,

603, 610Chmiel, Commonwealth v., 170

Chrysler Corp. v. Carey, 325Ciaffone v. Eighth Judicial District

Court, 323Cincinnati Bar Ass’n v. Statzer, 529Cincinnati Ins. Co. v. Wills, 374Cinema 5, Ltd. v. Cinerama, Inc., 299Cipollone v. Liggett Group, Inc., 631City and County of (See Name of City

and County)City of (See Name of City)Civil Service Comm’n of San Diego Cty.

v. Superior Court, 692Close-It Enters., Inc. v. Mayer Wein-

berger, 568Cohen v. California, 588Colbath, State v., 449Cold Spring Harbor Lab. v. Ropes &

Gray LLP, 157Coles v. Marsh, 330Colorado v. Bollinger, 230Committee on Professional Ethics and

Conduct of Iowa State Bar Associa-tion v. Crary, 462, 470

Commodity Futures Trading Commn. v. Weintraub, 254

Commonwealth v. (See Name of Defendant)

Complex Asbestos Litigation, In re, 323Concat LP v. Unilever, PLC, 221Connick, District Attorney v. Thomp-

son, 667Consolidation Coal Co. v. Bucyrus-Erie

Co., 245Converse, In re, 945Cooperman, Matter of, 813Cord v. Gibb, 950Corey v. Norman, Hanson & De Troy,

197Creighton Univ. v. Hickman, 310Crews v. Buckman Laboratories Inter-

national, Inc., 724Crimson Trace Corporation v. Davis

Wright Tremaine LLP, 157Cunningham v. Abbott, 347

TABLE OF CASES xxxix

Cutler, United States v., 602Cuyler v. Sullivan, 223

DD’Alessio v. Gilberg, 165Data Trace Information Services,

L.L.C., State ex rel., v. Cuyahoga County Fiscal Officer, 512

Davis v. EMI Group, Ltd., 310De Sisto College, Inc. v. Line, 498DeCarlo, In re, 569Deere, People v., 383, 385, 386Delgado v. McTighe, 938DeLuca v. Kahr Bros., 692DeVaux v. American Home Assurance

Company, 90Dillon, United States v., 81Dixon v. Rutgers, the State University of

New Jersey, 246Dodd v. Florida Bar, 468Doe v. Federal Grievance Comm., 470Donnelly v. DeChristoforo, 673Douglas v. DynMcDermott Petroleum

Operations Co., 724Dunn v. Westbrook, 95Dunton v. County of Suffolk, 693

EEdwards Wildman Palmer, LLP v.

Superior Court, 157Employers Insurance of Wausau v.

United States, 495Enron Corp. Sec., Derivative & ERISA

Litig., In re, 779E-Pass Technologies, Inc. v. Moses &

Singer, LLP, 157Escobedo v. Illinois, 429Evans v. Jeff D., 111, 273

FFacebook, Inc. v. Pacific Northwest

Software, Inc., 550Farm Mut. Auto. Ins. Co. v. Fed. Ins.

Co., 303

Farness, In re, 93Farris v. Fireman’s Fund Insurance Co.,

306Fassihi v. Sommers, Schwartz, Silver,

Schwartz & Tyler, P.C., 262FDIC v. Clark, 747FDIC v. O’Melveny & Myers, 747Federal Savings & Loan Ins. Corp. v.

Angell, Holmes & Lea, 116Fee, In re, 274Feld’s Case, 471Ficker v. Curran, 904Fireman’s Fund Insurance Co. v.

McDonald, Hecht & Solberg, 367Fisher v. Texas (U.S. 2013), 941Fisher v. Texas (U.S. 2016), 941Fishman v. Brooks, 552, 959Flatow v. Ingalls, 95Flatt v. Superior Court, 91Florida Bar v. Burns, 569Florida Bar v. Mitchell, 592Florida Bar v. Mooney, 592Florida Bar v. Went For It, Inc., 900Florida v. Nixon, 382Foley-Ciccantelli v. Bishop’s Grove

Condominium, 324Ford v. Wainwright, 391Formal Advisory Opinion No. 16-2, In

re, 395Fought & Co. v. Steel Engineering &

Erection, 951Foxgate Homeowners Association v.

Bramalea California, Inc., 621Frank v. Superior Court, 961Freund v. Butterworth, 229, 231Friedman v. Dozorc, 490Fulco v. Continental Cablevision, 335

GG.W.L., In re, 949Gadson, People v., 469Garcetti v. Ceballos, 670, 699Garcia, In re, 950Garner v. Wolfinbarger, 240

xl TABLE OF CASES

Garr v. U.S. Healthcare, 484Garvy v. Seyfarth Shaw LLP, 157Gastineau, In re, 814Gee v. Louisiana Attorney Disciplinary

Board, 896General Dynamics Corp. v. Superior

Court, 723General Motors Corp. Pick-Up Truck

Fuel Tank Products Liability Litiga-tion, In re, 355

Gentile v. State Bar of Nevada, 588, 597, 599

Georgia-Pacific Corp. v. GAF Roofing Mfg. Corp., 731

Gertner & Newman, United States v., 165

Gideon v. Wainwright, 429, 915Giglio v. United States, 650Gionis, People v., 91Glass, In re, 947Glenwood Farms Inc. v. Ivey, 331Goldberg v. Warner Chappell Music,

Inc., 310Goldberg, People ex rel., v. Gordon, 59Golden Eagle Distrib. Corp. v. Bur-

roughs Corp., 497, 498Golden, Matter of, 589Goldfarb v. Virginia State Bar, 793Goldstein v. Lees, 959Gonzalez, State v., 171Goodrich v. Goodrich, 254Grand Jury Investigation, In re, 688Grand Jury Subpoena Duces Tecum, In

re, 683Grand Jury Subpoena: Under Seal, In

re, 251Green, State v., 140Greenberg, In re, 946Grievance Adm’r v. Deutch, 958Groot, In re, 949Grutter v. Bollinger, 939, 940GSI Commerce Solutions, Inc. v.

BabyCenter, L.L.C., 221, 248GTE Products Corp. v. Stewart, 723

Guzman, People v., 469

HH.F. Ahmanson & Co. v. Salomon

Bros., Inc., 306Hadges v. Yonkers Racing Corp., 485Haines v. Liggett Group, Inc., 27, 521,

731Halas, In re Estate of, 959Hale v. Committee on Character and

Fitness for the State of Illinois, 946Hale v. Henkel, 243Hanna v. Indiana, 229Hansen v. Anderson, Wilmarth & Van

der Maaten, 549Hayes v. Eagle-Picher Indus., Inc., 346Hedlund v. Education Resources Inst.,

949Heidt v. State, 231, 232Hein, In re, 861, 862Henderson v. State, 126Hendrix, In re, 495Herbster v. North Am. Co. For Life &

Health Insurance, 722Herrera, People ex rel., v. Stender, 785Hickman v. Taylor, 168Hill, People v., 663Himmel, In re, 769, 863Hirschfeld, In re, 813Hishon v. King & Spalding, 848Hitachi, Ltd. v. Tatung Co., 325HLC Properties, Ltd. v. Superior Court,

153Hoffman, In re, 346Holloway v. Arkansas, 225Holmes v. Loveless, 110Holmes v. Petrovich Development

Company, LLC, 180Holtzman v. Grievance Comm. for the

Tenth Judicial Dist., 605Holtzman, In re, 604Hong Chang on Admission, In re, 943Hopwood v. Texas, 939Howitt v. Superior Court, 693

TABLE OF CASES xli

Humphrey, State by, v. Philip Morris, Inc., 731

Hunniecutt v. State Bar of California, 49

Hunter v. Virginia State Bar ex rel. Third Dist. Comm., 890

IIbanez v. Florida Board of Accountancy,

887Imbler v. Pachtman, 666, 675In re (See Name of Matter)In re Application of (See Name of

Applicant)In re Disciplinary Proceedings of (See

Name of Attorney)In re Estate of (See Name of Deceased)In re Marriage of (See Name of Party)International Brotherhood of Team-

sters, United States v., 264Iowa Sup. Ct. Attorney Disciplinary Bd.

v. Marzen, 146

JJacob, In re, 862Jacobson v. Knepper & Moga, P.C., 770Jacobson v. Sassower, 116Jacoby & Meyers, In re, 785Janik v. Rudy, Exelrod & Zieff, 335Janson v. LegalZoom.com, Inc., 183Jennings, People v., 469Jensen v. Superior Court, 568Jesse by Reinecke v. Danforth, 213Jessen v. Hartford Casualty Insurance

Co., 306Johnson v. Nextel Communications,

Inc., 347Johnson v. State, 702Johnson v. Superior Court, 262Johnson, People v., 469Jones v. Barnes, 500Jones v. Clinton, 473Jones v. National Conference of Bar

Examiners, 939

Jones, People v., 153, 499, 552, 651Joseph Nackson, on Contempt, In re,

161Jovanovic v. City of New York, 670

KKachmar v. Sungard Data Systems, Inc.,

724Kaitangian, In re, 93Keegan Management Co. Securities

Litigation, In re, 484Keller v. State Bar of Cal., 953Keller, In re, 896Kelly v. Hunton & Williams, 764Kelly v. MD Buyline, Inc., 814Kersey, In re, 861Kidwell v. Sybaritic, Inc., 726Kincade v. General Tire and Rubber

Company, 336Kirk v. First American Title Ins. Co.,

313, 325Kirschner v. KPMG LLP, 780, 790Kleiner v. First National Bank of

Atlanta, 335Klemm v. Superior Court, 229Kline v. First Western Government

Securities, Inc., 747, 778Kojayan, United States v., 663Konigsberg v. State Bar of California,

944Krutzfeldt Ranch, LLC v. Pinnacle

Bank, 301Kunstler, In re, 595Kurtenbach v. TeKippe, 89Kyles v. Whitley, 672

LLa Rocca v. Lane, 568Lanza, In re, 230Laprath, In re, 59Laremont-Lopez v. Southeastern

Tidewater Opportunity Project, 94Law Students Civ. Rights Research

Council, Inc. v. Wadmond, 944

xlii TABLE OF CASES

Lawrence v. Texas, 950Layton, State v., 469Lee G., In re, 697Lee, People v., 140Lennar Mare, LLC v. Steadfast Ins. Co.,

221Lessoff & Berger, People v., 957Leversen v. Superior Court, 141Lewis, In re, 292Lindsey, In re, 683Lipton v. Boesky, 959Locascio, United States v., 227Long, United States v., 457Los Angeles County Board of Supervi-

sors v. Superior Court, 135, 247Lucas v. Hamm, 95Lysick v. Walcom, 361

MM.R., Matter of, 392Madden v. Township of Delran, 85Maguigan, Commonwealth v., 161Malautea v. Suzuki Motor Corp., 517Mallard v. United States District Court,

83Manganella v. Keyes, 694Margulies v. Upchurch, 261Marks v. Estate of Marks, 962Marshall, In re, 862Maternowski, In re, 293Matter of (See Name of Party)Maxwell v. Superior Ct., 271, 291McCain v. Phoenix Resources, Inc.,

262McCamish, Martin, Brown & Loeffler

v. F. E. Appling Interests, 778McConnell, In re, 596McCoy v. Court of Appeals, 500McCoy v. Louisiana, 382McDowell, State v., 457McGhee v. Pottawattamie County,

Iowa, 670Mehaffy, Rider, Windholz & Wilson

v. Central Bank Denver N.A., 778Mehmood, People v., 441

Merchants Protective Corp., People v., 961

Mickens v. Taylor, 228Midgett, United States v., 457Milavetz, Gallop & Milavetz, P.A. v.

United States, 887Miller v. Metzinger, 90Mills v. Cooter, 491Mirabito v. Liccardo, 959Miranda v. Arizona, 429Miskovsky v. State ex rel. Jones, 563Mitchell, Commonwealth v., 469Morrell v. State, 131Morrison Knudsen Corp. v. Hancock,

Rothert & Bunshoft, 318Moscony, United States v., 227Mourad v. Automobile Club Insurance

Ass’n, 723Mrozek, Commonwealth v., 91Muhammad v. Paruk, 570Myers, In re, 795, 799

NN.R.S., In re, 950NAACP v. Alabama, 71NAACP v. Button, 899Nassau County Grand Jury Subpoena

Duces Tecum, In re, 170National Hockey League v. Metropoli-

tan Hockey Club, Inc., 514NCP Litig. Trust v. KPMG LLP, 790Neary v. Regents of the Univ. of Calif.,

632New Jersey v. Davis, 65New York Times Co. v. Sullivan, 606Newell, United States v., 228Nichols v. Keller, 97Nix v. Whiteside, 132, 455, 457, 461Nixon, United States v., 683Norvell v. Credit Bureau of Albuquer-

que, 961

OOasis West Realty, LLC v. Goldman,

286

TABLE OF CASES xliii

Office of Disciplinary Counsel v. Gardner, 605

Office of Disciplinary Counsel v. Henry, 60

Official Comm. of Unsecured Creditors of Allegheny Health Educ. & Research Found. v Pricewater-houseCoopers, LLP, 790

Ofshe, United States v., 674Ohralik v. Ohio State Bar Association,

886, 897Olam v. Congress Mortgage Co., 621O’Melveny & Myers v. FDIC, 747Opinion 415, In re, 692Ortiz v. Fibreboard Corp., 341

PPacific Inv. Mgmt. Co. v. Mayer Brown

LLP, 779Padilla v. Kentucky, 48, 65Pagano, In re, 49Paradigm Ins. Co. v. Langerman Law

Offices, 366Paramount Communications, Inc. v.

QVC Network, Inc., 512Parker v. M & T Chemicals, Inc., 726Parsons v. Continental National

American Group, 359Patrick v. Ronald Williams P.A., 552Pavelic & LeFlore v. Marvel Entertain-

ment Group, 488Payton v. New Jersey Turnpike Author-

ity, 246Peck v. Stone, 569Peel v. Attorney Registration & Disci-

plinary Comm’n, 887Pennsylvania v. Jermyn, 469Pennsylvania v. Strutt, 441People ex rel. (See Name of Relator)People v. (See Name of Defendant)Petrie, In re, 212Pettit v. Ginerich, 938Phillips v. Washington Legal Founda-

tion, 913Picker Int’l, Inc. v. Varian Assocs., 300

Pine Island Farmers Coop v. Erstad & Riemer, P.A., 366

Plant v. Does, 495Poats v. Givan, 938Poff v. Hayes, 789Powell v. Alabama, 434Pressman, In re, 954Price, In re, 571Principe v. Assay Partners, 512Purcell v. District Attorney for Suffolk

District, 136

QQualcomm Inc., v. Broadcom Corp.,

525, 526

RR.M.J., In re, 885Radiant Burners, Inc. v. American

Gas Association, 243Ralls v. United States, 165Ravich, Koster, Tobin, Oleckna,

Reitman & Greenstein, In re, 785Regents of Univ. of Cal. v. Bakke,

939Remodeling Dimensions, Inc. v.

Integrity Mutual Ins. Co., 368, 369Responsible Citizens v. Superior Court,

262Revson v. Cinque & Cinque, 589, 590Reynoso, In re, 93Reynoso, United States v., 702RFF Family Partnership, LP v. Burns

& Levinson, LLP, 157Richardson v. Union Oil Company of

California, 516Rico v. Mitsubishi Motors Corp., 195Rinaker v. Superior Court, 620Rishel, People v., 955Ritchie, United States v., 165Rivera v. State, 231Riverside, City of, v. Rivera, 110Roberts, In re, 951Rodick v. City of Schenectady, 694Rodriguez, People v., 568

xliv TABLE OF CASES

Rogers v. Robson, Masters, Ryan, Brumund & Belom, 363

Roper v. Consurve, Inc., 335Rosman v. Shapiro, 261Ross v. City of Memphis, 697Rovner, Allen, Seiken, and Rovner, In

re, 785Rubin & Cohen v. Schottenstein, Zox &

Dunn, 777Ruffalo, In re, 954Ruiz v. United States, 650Ruiz, United States v., 554Ryan v. Butera, Beausang, Cohen &

Brennan, 814Ryder, In re, 126, 127Ryslik v. Krass, 568

SSacher v. U.S., 596Sage Realty Corp. v. Proskauer Rose

Goetz & Mendelsohn, LLP, In re, 284, 292

Saldana v. Kmart Corp., 589San Diego Navy Fed. Credit Union v.

Cumis Insurance Society, 360, 375San Francisco, City & County of, v.

Cobra Solutions, Inc., 698Sandstrom v. State, 569Santa Barbara, City of, v. Superior

Court, 697Santa Clara County Counsel Attorneys

Assn. v. Woodside, 699Sawyer, In re, 602, 605Schiessle v. Stephens, 312Schware v. Board of Bar Examiners of

New Mexico, 944Schwarz, United States v., 228Scott v. Beth Israel Medical Center, Inc.,

179Sealed Case, In re, 683SEC v. National Student Mktg. Corp.,

133Selby v. Revlon Consumer Products,

219

Shadid v. Jackson, 694Shapero v. Kentucky Bar Ass’n, 899Sheldon Appel Co. v. Albert & Oliker,

490Sheppard, Mullin, Richter & Hampton,

LLP v. J-M Manufacturing, Inc., 222Shoe Show, Inc. v. Launzel, 284Shondel, In re, 495Sieg, In re Disciplinary Proceedings of,

161Sills Cummis Zuckerman, Radin

Tischman Epstein & Gross, In re, 785Silver Chrysler Plymouth, Inc. v.

Chrysler Motors Corp., 309Simac, People v., 563Sims v. Lakeside School, 179Singleton, United States v., 655Smith v. Robbins, 500Snow v. Ruden, McClosky, Smith,

Schuster & Russell, P.A., 770Sonic Blue, Inc., In re, 156, 158Spaulding v. Zimmerman, 140, 541St. Simons Waterfront, LLC v. Hunter

Maclean Exley & Dunn, P.C., 157Standing Committee on Discipline,

United States District Court for the Central District of California v. Yagman, 605

Stanley v. Richmond, 314, 315Starling v. State, 441State Bar v. Semaan, 605State by (See Name of Party) State Compensation Insurance Fund v.

WPS, Inc., 193State ex rel. (See Name of Relator)State Sav. & Loan Ass’n v. Corey, 955State v. (See Name of Defendant)Stites, United States v., 229Stoneridge Investment Partners v.

Scientific-Atlanta, Inc., 779Strait, In re, 948Strickland v. Washington, 47, 64Suffolk Cty. Patrolmen’s Benevolent

Ass’n v. County of Suffolk, 694

TABLE OF CASES xlv

Sunrise Securities Litigation, In re, 158Swan, Matter of, 587Swidler & Berlin v. United States,

153, 168, 684

TT.C. Theatre Corp. v. Warner Bros.

Pictures, Inc., 305Tante v. Herring, 286, 292Tarasoff v. Regents of the Univ. of

California, 136Tax Authority, Inc. v. Jackson-Hewitt,

Inc., 346Taxman Clothing Co., In re, 111Teague v. St. Paul Fire and Marine Ins.

Co., 363Tekni-Plex v. Meyner and Landis, 255Teleglobe Communications Corp., In

re, 249Teradyne, Inc. v. Hewlett-Packard Co.,

318Thelen Reid & Priest LLP v. Marland,

156, 157Thomas v. Foltz, 228Thompson v. Duke, 496Thoreen, United States v., 560Times Publishing Co. v. Williams, 123Tippins v. Walker, 47Togstad v. Vesely, Otto, Miller & Keefe,

115Torres v. Donnelly, 436Trone v. Smith, 306Truck Ins. Exch. v. Fireman’s Fund Ins.,

300

UU.S. Bancorp Mortgage Co. v. Bonner

Mall Partnership, 632Ulico Cas. Co. v. Wilson, Elser, Mos-

kowitz, Edelman & Dicker, 221Unauthorized Practice of Law Commit-

tee v. Parsons Technology, Inc., 963Unigard Ins. Group v. O’Flaherty &

Belgum, 367

United States ex rel. (See Name of Relator)

United States v. (See Name of Defendant)

Upjohn Co. v. United States, 244, 459USI Ins. Servs., LLC v. Ryan, 259Utah v. Brown, 698

VV-1 Oil Company, aka V-1 Propane v.

Dept. of Environmental Quality, 698Vallinoto v. DiSandro, 285Van Asdale v. Intern’l Game Technol-

ogy, 726Van Hull v. Marriott Courtyard, 197Vega v. Jones, Day, Reavis & Pogue, 777Viner v. Sweet, 48Virzi v. Grand Trunk Warehouse &

Cold Storage Co., 555

WWade, United States v., 447Wagner, In re, 93Wallace v. Skadden, Arps, Slate, Mea-

gher & Flom, 770Ward v. Superior Court, 701Warner v. Hillcrest Medical Center,

489Washington State Physicians Ins. Exch.

& Assoc. v. Fisons Corp., 503Weaver v. United Mine Workers, 261Webster v. Legal Zoom.com, Inc., 183Wells Fargo Bank v. Superior Court, 157West Virginia v. Douglass, 129Westinghouse Elec. Corp. v. Kerr-

McGee Corp., 261, 263Westinghouse v. Kerr-McGee Corp.,

299Wheat v. United States, 226Wieder v. Skala, 767Wilcox, United States ex rel., v. John-

son, 457Wilens & Baker, In re, 785Williams v. Delaware, 291

xlvi TABLE OF CASES

Williams v. United States, 47Willis, In re, 862Willy v. Coastal States Management

Co., 723Wilson, In re, 861Witness Before the Special Grand Jury,

2000-2 (Witness), In re, 688World Trade Center Disaster Site

Litigation, In re, 352, 353Wunsch, United States v., 586Wutchumna Water Co. v. Bailey 288Wylie, In re Application of, 950

YYablonski v. United Mine Workers of

America, 260

Yagman, In re, 277Yarbrough v. Superior Court, 85Yick Wo v. Hopkins, 653Young v. Hector, 825Younger v. Colorado State Bd. of Law

Exm’rs, 938

ZZador Corp. v. Kwan, 220Zamos v. Stroud, 489Zauderer v. Office of Disciplinary

Counsel, 886Zawada, In re, 441, 663Ziglar v. Abbasi, 654Zubulake v. UBS Warburg, 523Zyprexa Prods. Liab. Litig., In re, 355

xlvii

Table of Rules, Opinions, and Statutes

American Bar Association

ABA Criminal Justice Standards for the Defense Function

Standard 4-1.2, 916Standard 4-3.5, 226Standard 7.7, 466

ABA Criminal Justice Standards for the Prosecution Function

Standard 3-1.2, 644Standard 3-1.3, 645, 649Standard 3-1.4, 645Standard 3-1.6, 645Standard 3-1.12, 645, 650, 673Standard 3-2.3, 650Standard 3-2.5, 650Standard 3-2.6, 650Standard 3-3.3, 646Standard 3-4.1, 646Standard 3-4.3, 646Standard 3-4.4, 647Standard 3-4.6, 648Standard 3-5.2, 648Standard 3-5.4, 554, 648Standard 3-5.6, 554, 649Standard 3-5.8, 649

ABA Model Code of Professional Responsibility

Canon 6, 147Canon 27, 881Disciplinary Rule 4-101, 135, 454Disciplinary Rule 5-103, 99

Disciplinary Rule 5-105, 311Disciplinary Rule 7-102, 454, 455, 462,

497Disciplinary Rule 7-107, 603Ethical Consideration 2-27, 70Ethical Consideration EC 4-1, 459

ABA Model Rules of Professional Conduct

Rule 1.1, 47, 59, 168, 176, 177, 179, 201, 573, 746

Rule 1.2, 346, 380, 383, 394, 395, 738, 739, 741, 746, 757

Rule 1.3, 47, 59Rule 1.4, 168, 334, 380, 624Rule 1.5, 64, 103, 274, 801, 802Rule 1.6, 134, 141, 150, 152, 156, 164,

167, 177, 181, 188, 217, 702, 707, 712, 716, 717, 720, 725, 755, 780

Rule 1.7, 97, 209, 214, 215, 216, 219, 220, 221, 248, 259, 286, 290, 297, 316, 682

Rule 1.8, 97, 99, 117, 216, 269, 270, 285, 346, 351, 352, 354

Rule 1.9, 297, 307, 309Rule 1.10, 297, 310, 312, 322Rule 1.11, 311, 697Rule 1.13, 150, 239, 262, 682, 688, 691,

707, 712, 716, 717Rule 1.14, 387, 391, 394, 395Rule 1.15, 955Rule 1.16, 281Rule 1.18, 91Rule 2.1, 117, 408, 624, 774, 775Rule 2.4, 616

xlviii TABLE OF STATUTES

Rule 3.1, 497Rule 3.3, 455, 457, 462, 463, 464, 468,

469, 473, 478, 494, 495, 496, 497, 498, 557

Rule 3.5, 572Rule 3.6, 557, 597, 599, 602, 603Rule 3.7, 557Rule 3.8, 643, 644, 651, 652Rule 4.1, 533, 535, 537, 538, 539, 542,

545, 546, 548Rule 4.2, 664Rule 4.4, 188, 193, 195Rule 5.1, 784Rule 5.2, 768, 769Rule 5.4, 97, 160, 963, 965Rule 6.1, 70Rule 6.2, 80Rule 7.2, 904Rule 7.3, 330Rule 8.2, 604Rule 8.3, 769, 863Rule 8.4, 946, 955Rule 8.5, 423

ABA Commission of Professional Ethics and Grievances (1931–1977): Opinions

ABA Opinion 287 (1953), 463ABA Informal Opinion 914 (1966), 562ABA Opinion 335 (1974), 746ABA Opinion 342 (1975), 312

ABA Commission on Ethics and Professional Responsibility (1978-present): Opinions

ABA Revised Opinion 82-346, 746ABA Formal Opinion 87-353, 457, 463,

464ABA Formal Opinion 91-361, 261, 262ABA Formal Opinion 92-366, 780ABA Formal Opinion 92-368, 192, 194ABA Formal Opinion 93-372, 220, 221ABA Formal Opinion 93-375, 473 ABA Formal Opinion 93-376, 473

ABA Formal Opinion 93-379, 800, 803ABA Formal Opinion 95-390, 248, 321ABA Formal Opinion 95-397, 555ABA Formal Opinion 98-410, 254ABA Formal Opinion 98-411, 154, 155ABA Formal Opinion 98-412, 473ABA Formal Opinion 99-415, 307ABA Formal Opinion 00-418, 117ABA Formal Opinion 01-421, 372ABA Formal Opinion 03-429, 864, 865 ABA Formal Opinion 03-430, 374ABA Formal Opinion 03-431, 864, 865 ABA Formal Opinion 05-436, 221ABA Formal Opinion 05-437, 188, 193ABA Formal Opinion 06-438, 346ABA Formal Opinion 06-439, 623, 624ABA Formal Opinion 06-441, 916ABA Formal Opinion 06-442, 188ABA Formal Opinion 07-446, 95ABA Formal Opinion 08-453, 156, 157ABA Formal Opinion 09-451, 956ABA Formal Opinion 09-454, 651, 652ABA Formal Opinion 10-457, 186ABA Formal Opinion 11-459, 180ABA Formal Opinion 13-452, 199ABA Formal Opinion 14-466, 572, 573ABA Formal Opinion 17-479, 134ABA Formal Opinion 18-480, 134, 164

Federal Materials

United States ConstitutionArticle II, § 3, 685, 790First Amendment, 898, 899, 900Fifth Amendment, 165Sixth Amendment, 382, 383, 434

Statutes Americans With Disabilities Act, 42

U.S.C. § 12101–12213, 938College Cost Reduction and Access Act

of 2007, 915Sarbanes-Oxley Act § 307, 715, 7695 U.S.C. § 552a, 176

TABLE OF STATUTES xlix

18 U.S.C. § 110, 9318 U.S.C. § 243, 57718 U.S.C. § 401, 561, 562, 56318 U.S.C. § 1963, 65721 U.S.C. § 812, 86321 U.S.C. § 848, 65728 U.S.C. § 1915, 8228 U.S.C. § 1927, 49129 U.S.C. § 1181, 17642 U.S.C. § 300gg, 29, 17642 U.S.C. § 1320d, 17642 U.S.C. § 1983, 485, 487,

667, 668, 669, 671, 701

RegulationsSEC Rule 10b-5, 550, 778, 7795 C.F.R. Part 2635, 70317 C.F.R. § 240.10b-5, 778, 779

Rules of CourtFederal Rule of Appellate Procedure 38,

496Federal Rule of Civil Procedure 11,

94, 481, 482, 483, 484, 485, 487, 488, 497

Federal Rule of Civil Procedure 23, 329, 330, 335, 337, 338, 339, 340, 349, 355

Federal Rule of Civil Procedure 26, 491, 505, 510, 639

Federal Rule of Civil Procedure 60, 485Federal Rule of Criminal Procedure

44, 226, 227

State Materials

AlabamaAlabama Opinion 83-61, 473Alabama Opinion 84-54, 473Alabama Opinion 2010-02, 181

Alabama State Bar, Office of General Counsel, Ethics Opinion RO-2007-02, 188

AlaskaAlaska Ethics Opinion 94-3, 392

ArizonaArizona Rules of Prof’l Conduct R. 3.3,

276Arizona Rules of Prof’l Conduct R. 8.4,

276

Arizona Ethics Opinion 92-4, 164Arizona Ethics Opinion 07-03, 188Arizona Ethics Opinion 09-04, 182

CaliforniaCalifornia Business & Professions Code

§ 6068, 70, 134, 135, 392, 586, 587, 588, 717

California Business and Professions Code § 6147, 278, 279

California Business & Professions Code § 6149, 170

California Code of Civil Procedure § 51.9, 638

California Code of Civil Procedure § 128.5, 481

California Code of Civil Procedure § 1001, 637

California Code of Civil Procedure § 1002, 637

California Evidence Code § 703.5, 620California Evidence Code § 952, 190California Evidence Code § 952, 190California Evidence Code § 956.5, 136California Evidence Code § 956.5, 136California Evidence Code, §§ 1115 et.

seq, 619, 620

California Government Code § 12940, 638

California Government Code § 12955, 638

California Penal Code § 1368, 393

California Senate Bill SB 820, 637

l TABLE OF STATUTES

California Rule of Professional Conduct 1.0.1, 221

California Rule of Professional Conduct 1.7, 221

California Rule of Professional Conduct 1.16, 281

California Rule of Professional Conduct 3-310, 215, 288

California Rule of Professional Conduct 3-320, 285

California Rule of Professional Conduct 4-200, 110, 278

California Formal Opinion 1983-74, 473California Formal Opinion 1987-91, 903California Formal Opinion 1989-112, 392California Formal Opinion 1989-113, 321California Formal Opinion 1993-133, 392California Formal Opinion 1994-134,

283California Formal Opinion 1994-135,

102, 277California Formal Opinion 1994-136,

111 California Formal Opinion 1996-146,

755, 777California Formal Opinion 1997-150, 325California Formal Opinion 2001-156, 693California Formal Opinion 2010-179, 182California Formal Opinion 2011-182, 164California Formal Opinion 2015-192, 141California Formal Opinion 2016-195, 134

Los Angeles Bar Opin. 450, 392Orange Cty. Bar Assn. Professionalism

and Ethics Committee, Formal Opn. No. 97-002, 179

San Diego Co. Bar Opin 1978-1, 392

ColoradoColorado Bar Association Ethics

Committee, Formal Opinion #124, 863

Colorado Rule of Civil Procedure 260.8, 924

ConnecticutConnecticut Bar Association, Profes-

sional Ethics Committee, Informal Opinion 2013-07, 182

District of ColumbiaDistrict of Columbia Rule 1.4, 775District of Columbia Rule 1.6, 897District of Columbia Rule 1.8, 284District of Columbia Rule 2.1, 774, 775District of Columbia Rule 3.3, 469District of Columbia Rule 5.4, 160

District of Columbia Opinion 212, 310District of Columbia Legal Ethics

Opinion No. 296, 218District of Columbia Ethics Opinion

305, 264District of Columbia Formal Opinion

335, 897District of Columbia Bar Assoc.

Opinion 352, 324

Florida Rule Regulating Fla. Bar 6.10, 177Florida Rule of Professional Conduct

4-1.8, 364Florida Rule of Professional Conduct

4-8.4, 592Florida Draft Rule 4.7.3, 896

Florida Supreme Court, Opinion 2009-20, 199

Florida Bar Ethics Opinion 95-4, 217Florida Bar Ethics Opinion 06-2, 188Florida Bar Ethics Opinion 12-3, 182

IllinoisIllinois Supreme Court Rule 756, 923Illinois Supreme Court Rule 756, 923

IowaIowa Opinion 95-30, 177Iowa Opinion 96-1, 177Iowa Opinion 97-01, 178

TABLE OF STATUTES li

Iowa Opinion 11-01, 182

Kentucky Kentucky Advisory Ethics Opinion

E-368, 372, 373Kentucky Unauthorized Practice of Law

Opinion U-36, 372, 373

MaineMaine Rule 1.2, 863

Board of Overseers of the Bar, State of Maine, Opinion 215, 863

Maine Professional Ethics Commission Opinion 140, 468

Maine Professional Ethics Commission, Opinion 196, 188

Maine Professional Ethics Commission, Opinion 207, 182

MarylandMaryland Opinion 85-67, 473Maryland Opinion 91-54, 164Maryland Opinion 93-8, 164

MassachusettsMass. Sup. Jud. Ct. R. 3:07, DR 2-106,

108Massachusetts Bar Association Ethics

Opinion 12-03, 182

MichiganMichigan Rule of Evidence 611, 570

Michigan Rule Prof. C. 1.10, 696Michigan Disciplinary Rule 7-101, 435Michigan Disciplinary Rule 7-102, 436

Michigan Informal Opinion CI-335, 695

Michigan Informal Opinion CI-882, 392

Michigan Opinion CI-1103, 473Michigan Opinion CI-1164, 435Michigan Opinion RI-77 (1991), 164

Detroit Charter, § 6-403, 695Detroit Code, art. XI, § 13-11-5, 695

MinnesotaMinn. R. Prof. Conduct 1.7, 369

MississippiMississippi Bar Ethics Committee,

Ethics Opinion No. 259, 188

MontanaMontana Rule of Professional Conduct

1.6, 724Montana Rule of Professional Conduct



1.10, 302, 304

Nebraska Nebraska Advisory Opinion 95-1

(1995), 98Nebraska Advisory Opinion 95-1, 98

NevadaNevada Supreme Court Rule 177, 599,

600, 601Nevada Standing Committee on Ethics

and Professional Responsibility, Formal Opinion 33, 182

New HampshireNew Hampshire Bar Association Ethics

Committee, Opinion 2008–09/4, 188New Hampshire Ethics Committee

Advisory Opinion 2012–13/4, 182

New JerseyNew Jersey Committee on Advertising

Opinion 39, 896New Jersey Joint Ethics and Advertising

Opinion 676/18, 614New Jersey Opinion 520, 473

lii TABLE OF STATUTES

New Jersey Opinion 560, 692New Jersey Opinion 701, 182

New YorkNew York General Statute 7-101-a,

694New York Public Health Law § 4143,

123New York Public Health Law § 4200,

123

Rules for the Admission for Attorneys and Counselors at Law 22 NYCRR Part 520, 923

New York DR 1-102, 785New York DR 1-103, 766New York DR 1-105, 785New York Rule 1.16, 284

New York Judicial Ethics Committee Opinion 08-176, 199

New York State Bar Association Com-mittee on Professional Ethics, Opinion 749, 188

New York State Bar Association Com-mittee on Professional Ethics, Opinion 782, 188

New York State Bar Association’s Committee on Professional Ethics Opinion 842, 182

Nassau County (New York) Bar Ethics Opinion 95-5, 903

New York County Opinion 712, 478

City of New York Bar Formal Opinion 1986-2, 263



City of New York Bar Formal Opinion 2005-05, 258, 259




North CarolinaNorth Carolina Opinion 6, 182North Carolina Opinion 33, 165North Carolina Opinion 203, 473 North Carolina Opinion 2012-1, 903North Carolina 2009-1, 188

OhioOhio State Bar Association Informal

Advisory Opinion 2013-03, 182

Oregon Oregon State Bar Formal Opinion

2011-188, 182

PennsylvaniaPennsylvania Bar Association Ethics

Opinion No. 2011-200, 182

Philadelphia Ethics Opinion 95-3, 478

South Carolina South Carolina Advisory Ethics Opin-

ion 97-08, 178

TennesseeTennessee Disciplinary Rule 4-101, 725

TexasRule 1.06, 218, 298Rule 76a, 638

Texas Opinion 479 (1991), 164

VermontVermont Bar Association, Advisory

Ethics Opinion 2010-6, 182

VirginiaRule 1.6, 891, 893, 897

TABLE OF STATUTES liii

Rule 7.1, 891, 892, 893, 894Rule 7.2, 891, 892, 893, 894

Virginia State Bar Opinion 952, 555Virginia Opinion 1872, 182Virginia Opinion 1451, 473

WashingtonWashington State Bar Association

Advisory Opinion 2215, 182

West VirginiaWest Virginia Bar Association, Lawyer

Disciplinary Board, Legal Ethics Opinion 2009-01, 188

WisconsinWisconsin Formal Ethics Opinion

EF-15-01, 182

Restatements and Model Principles

American Law Institute Principles of the Law of Aggregate Litigation

§ 3.17, 351

Restatement (Third) of the Law Governing Lawyers

§ 15, 91§ 43, 284§ 60, 218, 289§ 71, 168, 249§ 73, 156§ 75, 249§ 95, 777§ 119 (2000), 131§ 120, 455§ 122, 220§ 123, 324§ 124, 312§ 125, 289§ 132, 92, 219, 307, 368, 369§ 134, 362

Documents

Legal Ethics in the Practice of Law - cap-press.com · Legal Ethics in the Practice of Law fifth edition Richard Zitrin Lecturer in Law University of California, Hastings College